John F. Ware
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Faulconer Ware III, who also goes by John Faulconer Ware, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2018 - September 14, 2020
CETERA INVESTMENT SERVICES LLC
March 12, 2018 - September 14, 2020
CETERA INVESTMENT ADVISERS LLC
September 28, 2010 - January 3, 2017
BB&T INVESTMENT SERVICES, INC.
May 19, 2010 - January 3, 2017
BB&T INVESTMENT SERVICES, INC.
December 18, 2003 - March 1, 2010
AVONDALE PARTNERS, LLC
August 26, 2003 - January 2, 2004
TD WEALTH MANAGEMENT SERVICES INC.
September 24, 2001 - April 23, 2003
COMMERCE CAPITAL INVESTMENTS, INC.
August 30, 2001 - January 2, 2004
TD WEALTH MANAGEMENT SERVICES INC.
June 14, 1999 - November 29, 2000
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
January 1, 1997 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
